the borrowed securities, only in the portion not exceeding the value of the collateral; 2. payables under the pledged assets; 3. payable for a client account; 4. payable under a securities repurchase
pledged securities; 3. payable for client account; 4. payable under securities repurchase agreement; (d) other liabilities as stipulated by the Notification of the SEC Office. (7) “ risk haircuts ” means
collateral pledged by the client for its exposure to derivatives according to rate or value stipulated by the SEC Office. Clause 3 Maintenance of the financial condition of the derivatives broker shall be in
securities company ; “ collateral ” means the total sum of the collateral pledged by the client for its exposure to derivatives according to the rate or value stipulated by the Notification of the SEC Office
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
include receivable of securities trading by cash, under margin loans and a pledged asset receivable, i.e. the cash deposited as collateral with a securities lending creditor or the securities depository
interest rate or floating interest rate; (3) in case of accepted, aval, endorsed, or guaranteed debt instruments, such acceptance shall be unqualified, aval shall be given as to the whole amount, endorsement
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
Private Fund Management , of which policy is investment in domestic products; (b) providing services of trading a government bond or a bond of which principal and interest are guaranteed by the Ministry of
persons appointed to provide trading services of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such